instruments, depending upon the customers? risk appetite. Licensed underwriting firms will be permitted to underwrite overseas financial instruments in Thailand while other licensed business operators will be
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
connection with the undertaking of legal proceedings. While, we have no discriminatory practice regardless of whether the interviewee is Thai or foreigner, foreigner can be assisted by the translator of his or
use since 2003 while the market landscape and the business operation have generally become more diversified and more complex. This proposed amendment would fine-tune the governing rules and prevent
gratuity. In this regard, the information on wrongdoing and the application for bounty can be filed either with the SEC or the Department of Special Investigation (DSI), while the application for gratuity
) and infrastructure fund. Besides, savings and several types of life insurance will be introduced while visitors can try playing risk explorer game. Entrepreneurs finding fund source are also welcomed at
prevent abnormal securities trading. In so doing, both organizations have prepared and disseminated information for monitoring of securities trading in that the SEC has disclosed Turnover List while the SET
reflects international recognition on solid foundation of Thai capital market. In addition, AMBIF initiative will help widen access to a variety of financial options for Thai businesses while staying cost
advice without the use of human financial planner. While embracing financial innovation, the SEC still put highest emphasis to ensure sufficient level of investor protection in the Thai capital
misconducted profiles from public fundraising. In the former rules, any misconducts found during PO submissions such as forged accounting, issuer would only subject to disapproval, while, the recent revised